| 15-02999 | 03/01/2018 | Claimant(s): Andrew Lewis, Thomas Marshburn
Claimant Lawyers(s): Stephen J. Wein
Respondent(s): Halen Capital, Halen Capital Management., Halen Capital.
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Jacquelyn M. Shannon, Martin M. Van Luven, Richard Manuel Barcia
Hearing Site: Tampa, FL
| | |
| 16-02594 | 02/23/2018 | Claimant(s): Carol Rizzo
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Lloyd R. Schwed
Arbitrator(s): Brian G. Mooney, Nicholas John Taldone, Ian S. Greig
Hearing Site: Tampa, FL
|  | $0 |
| 17-00665 | 02/15/2018 | Claimant(s): Jane Hoffman
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors, Ronald Guertin
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
| | Expungement |
| 17-01927 | 02/14/2018 | Claimant(s): Michael Hanke
Claimant Lawyers(s): Daniel P. Dietrich
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 16-03101 | 02/12/2018 | Claimant(s): Raniero Gimeno
Claimant Lawyers(s): Robert Savage
Respondent(s): Eagle Asset Management., Eagle Fund Distributors.
Respondent Lawyers(s): Tammie L. Rattray
Arbitrator(s): Maurice M. Feller, Nicholas G. Dukas, James Mathieu
Hearing Site: Tampa, FL
| | |
| 17-01286 | 01/29/2018 | Claimant(s): Coling Wiens
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Kristen Kinney
Arbitrator(s): Brian G. Mooney
Hearing Site: Tampa, FL
| | |
| 15-03204 | 01/22/2018 | Claimant(s): Interactive Brokers LLC
Claimant Lawyers(s): David Luger
Respondent(s): Ashok Mittal
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Martin M. Van Luven, Joseph John Mantione, Shannon Nicole Boyd
Hearing Site: Tampa, FL
| | $0 |
| 17-00488 | 01/10/2018 | Claimant(s): Judith Kawtoski
Claimant Lawyers(s): Nicholas J. Taldone
Respondent(s): Pacific Select Distributors
Respondent Lawyers(s): Todd M. Fuller
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
| | $0 |
| 17-01262 | 12/26/2017 | Claimant(s): Scott Jaffe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kurt T. Kalberer
Arbitrator(s): Gregory D. Hoffmann
Hearing Site: Tampa, FL
| | |
| 16-02518 | 12/22/2017 | Claimant(s): Mark Modica, Maureen Modica
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Curtis Milakovich
Respondent Lawyers(s): Curtis Dean Milakovich
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
| | $164,000 |
